1. Policy Formation, Implementation & Review Dr Laura Cleary

2. ‘We are fabulous at formulating policy, but lousy at implementing it.’

3. Scope What is policy? Why do we need it? How do we create it and implement it? The role of security and defence policy Examples Conclusion

4. What is Policy? Policy is an attempt to turn party political promises into reality. It provides the strategic vision for states and their governing institutions. A policy is a theory until it is implemented. Public services are empty promises until they are implemented.

5. What is Policy? ‘ Policy makers frequently give more attention to policy development than to policy implementation. It is often assumed that a good policy will produce satisfactory outcomes. In reality, policy outcomes are determined by government actions, not what governments state they intend to do. Implementation is thus the key ingredient of good policy. (Nicole Ball et al, 2004)

6. Why do we need it? A key purpose of all policy is to give guidance so that multiple actors behave in a coherent way; and domestic and international audiences are informed about a government’s intentions and plans.

7. Policy as a Source of Information Externally a government may wish to transmit reassurance determination Internally a government may wish support for defence policy from service personnel from taxpayers from the widest public

8. Policy as a Source of Information Externally a government may wish to transmit reassurance determination Internally a government may wish support for defence policy from service personnel from taxpayers from the widest public. Government benefits from being open and transparent regarding defence policy Links to media policy

9. Why do we need it? Policy provides us with a base line against which to measure progress (or lack of it) and against which we will hold those responsible for implementation to account.

10. Why do we need it? What happens when we do not have policy? Symptomatic of a system that is weak on accountability and lacks transparency. Although direction may be given it is likely to be the vision of an individual rather than a group. No power of enforcement. Limited means to measure progress. Makes it more difficult to determine the resources required.

11. Why do we need it? Policy should therefore indicate the following: Where we are now? The Strategic Context Where do we want to go? The National Interest How do we get there? The Plan of Action We should also give consideration as to how we define success/failure. How do we intend to measure either one and what are we going to do to ensure the former and correct the latter?

12. How do we formulate policy? How do we get there? Those who have to be involved: Those with professional involvement in the subject or whose expertise is needed in particular areas. Those who, by law or custom, are normally involved or have to be consulted (specialist departments of government concerned with legal issues, social problems, management of public services, etc) Those whose views, for one reason or another, cannot be ignored (allies, donors, IFIs).

13. How do we formulate policy? The nature of policy formation is dependent upon the constitutional framework and the powers vested in certain institutions and individuals. Bureaucratic v. personalised systems of management Leaders v. managers

14. How do we formulate policy? All implications of a policy need to be thought through. Policy should be nested within a supporting policy framework. Who will implement the policy and how?

15. How do we implement policy? Clear policies and consistent objectives Achievable goals in order to maintain morale and motivation --- Philippines Policies should identify factors that influence policy outcomes --- Croatia Good structures Putting in place supportive roles, procedures and resources

16. How do we implement policy? Choosing capable and appropriate actors Leadership should possess appropriate skills and commitment Managers should have the means to marshal and manage necessary resources Information sharing and effective consultation Continuity

17. How do we implement policy? Need to consider how you review policy? Parliament, Auditor General, external bodies, IGOs, NGOs, media The danger of creating policy for policy’s sake. Need to guard against complacency

18. Security Policy... the political direction of a nation’s security resources as a whole with a view to ensuring national security, protecting vital interests and furthering the international aims of the state What is Security Policy?

19. Top Level Security Policy Security policy addresses top level questions and issues: What do we want our security forces, ministries and agencies to do? How much do we want to spend? What are the parameters on how they can act/prepare? The role and purpose of top level security policy is to answer these (difficult) questions in a way that will give guidance to civilian officials and security officers who are charged with preparing relevant capability.

20. Top Level Security Policy The civilian officials and security officers who are charged with building the capability can then propose: What kind of force structure is needed? What kind of equipment is needed? What kind of doctrine is to be written? What kind of people are to be recruited? What levels of preparedness and sustainability? In other words, all the elements needed to produce a coherent military capability.

21. The UK’s National Security Strategy (2010) states that the two core objectives are: Top Level Security Policy 1.Ensuring a secure and resilient UK – protecting our people, economy, infrastructure, territory and way of life from all major risks that can affect us directly; and 2.Shaping a stable world – actions beyond our borders to reduce the likelihood of specific risks afecting the UK or our direct interests overseas.

22. Top Level Defence Policy Top level defence policy should reflect : How defence will fit into wider government policies. How defence will relate to the norms, values and expectations of society. This guidance in the form of policy will impose requirements and constraints on those officials and military officers building defence capability. They will not have a free hand.

23. Top Level Defence Policy The Defence Policy of the Republic of Colombia outlines the following: The nature of democratic security: Democratic security differs from the notions of security expounded by authoritarian regimes, which are based on ideological hegemony and political exclusion. The Government rejects the idea of “National Security”…which considered certain ideological groups or political parties as the “enemies within”. We believe that all are welcome in a democracy.

24. Top Level Defence Policy The Defence Policy of the Republic of Colombia outlines the following: The nature of democratic security Its antithesis: terrorism Threats: terrorism, illegal drugs trade, illicit finance, the traffic of arms, ammunition and explosives, kidnapping and extortion, homicide

25. Top Level Defence Policy The Defence Policy of the Republic of Colombia outlines the following: Strategic Objectives: Consolidation of state control Protection of the population Elimination of illegal drugs trade Maintenance of a deterrent capability Transparent and efficient management of resources The emphasis is on transparency, accountability, the rule of law, coordination, jointness and professionalism of all concerned.

26. Top Level Defence Policy Topics included in the Draft White Paper on Defence (RSA, 1995) National Security Policy and the RDP Defence in a Democracy International Law on Armed Conflict Civil-Military Relations (Constitutional Provisions, the role of government, the rights of soldiers, etc) Strategic environment Roles and functions of the armed forces HRM, Budgetary considerations, the defence economy

27. Conclusion Policy is meaningless unless it is implemented. Effective implementation is dependent upon political will and the coordinated response of stakeholders.